| 機構 | 角色 | 受規管活動 | 開始日期 | 結束日期 |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | Rep | 就證券提供意見 | 2011-05-04 | 2012-04-30 |
| Rep | 證券交易 | 2011-05-04 | 2012-04-30 | |
| NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | 期貨合約交易 | 2008-10-10 | 2010-07-10 |
| Rep | 證券交易 | 2008-10-10 | 2010-07-10 | |
| LEHMAN BROTHERS ASIA LIMITED | Rep | 期貨合約交易 | 2007-08-16 | 2008-09-29 |
| Rep | 證券交易 | 2007-08-16 | 2008-09-29 | |
| LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | 證券交易 | 2007-08-16 | 2008-09-29 |